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You might enjoy this new blogpost from HuggingFace, which goes into more detail.
I agree. My original wording was too restrictive, so let me try again:
I think pushing the frontier past 2024 levels is going to require more and more input from the previous generation's LLMs. These could be open- or closed-source (the closed-source ones will probably continue to be better), but the bottleneck is likely to shift from "scraping and storing lots of data" to "running lots of inference to generate high-quality tokens." This will change the balance to be easier for some players, harder for others. I don't think that change in balance is perfectly aligned with frontier labs.
Phi-4: Synthetic data works. Pretraining's days are numbered.
Microsoft just announced Phi-4, a 14B parameter model that matches GPT-4o on some difficult benchmarks. The accompanying technical report offers a glimpse into the growing importance of synthetic data and how frontier model training is changing.
Some takeaways:
- The data wall is looking flimsier by the day. Phi-4 is highly capable not despite but because of synthetic data. It was trained on a curriculum of 50 types of synthetic datasets, generated by GPT-4o from a diverse set of organic data "seeds". We're seeing a smooth progression from training on (1) organic data, to (2) human-curated datasets, to (3) AI-curated datasets (filtering for appropriate difficulty, using verifiers), to (4) AI-augmented data (generating Q&A pairs, iteratively refining answers, reverse-engineering instructions from code, etc.), to (5) pure synthetic data.
- Training is fracturing. It's not just the quality and mixture but also the ordering of data that matters. Phi-4 features a "midtraining" phase that expands its context length from 4k to 16k tokens, upweighting long-context behavior only when the model has become capable enough to integrate that extra information. Post-training features a standard SFT phase and two rounds of DPO: one round of DPO using "pivotal token search" to generate minimally distinct pairs that are easier to learn from, and one round of more standard "judge-guided DPO". In the author's own words: "An end-to-end optimization of pretraining data mixture that also takes into account the effects of post-training is an interesting future area of investigation."
- The next frontier is self-improvement. Phi-4 was taught by GPT-4; GPT-5 is being taught by o1; GPT-6 will teach itself. This progression towards online learning is possible because of amortization: additional inference-time compute spent generating higher quality tokens becomes training data. The techniques range from simple (rejection-sampling multiple answers and iterative refinement) to complex (o1-style reasoning), but the principle remains: AI systems will increasingly be involved in training their successors and then themselves by curating, enhancing, and generating data, and soon by optimizing their own training curricula.
The implication: If you don't have access to a 2024-frontier AI, you're going to have a hard time training the next frontier model. That gap will likely widen with each subsequent iteration.
The RL setup itself is straightforward, right? An MDP where S is the space of strings, A is the set of strings < n tokens, P(s'|s,a)=append(s,a) and reward is given to states with a stop token based on some ground truth verifier like unit tests or formal verification.
I agree that this is the most straightforward interpretation, but OpenAI have made no commitment to sticking to honest and straightforward interpretations. So I don't think the RL setup is actually that straightforward.
If you want more technical detail, I recommend watching the Rush & Ritter talk (see also slides and bibliography). This post was meant as a high-level overview of the different compatible interpretations with some pointers to further reading/watching.
The examples they provide one of the announcement blog posts (under the "Chain of Thought" section) suggest this is more than just marketing hype (even if these examples are cherry-picked):
Here are some excerpts from two of the eight examples:
Cipher:
Hmm.
But actually in the problem it says the example:...
Option 2: Try mapping as per an assigned code: perhaps columns of letters?
Alternatively, perhaps the cipher is more complex.
Alternatively, notice that "oyfjdnisdr" has 10 letters and "Think" has 5 letters....
Alternatively, perhaps subtract: 25 -15 = 10.
No.
Alternatively, perhaps combine the numbers in some way.
Alternatively, think about their positions in the alphabet.
Alternatively, perhaps the letters are encrypted via a code.
Alternatively, perhaps if we overlay the word 'Think' over the cipher pairs 'oy', 'fj', etc., the cipher is formed by substituting each plaintext letter with two letters.
Alternatively, perhaps consider the 'original' letters.
Science:
Wait, perhaps more accurate to find Kb for F^− and compare it to Ka for NH4+.
...
But maybe not necessary.
...
Wait, but in our case, the weak acid and weak base have the same concentration, because NH4F dissociates into equal amounts of NH4^+ and F^-
...
Wait, the correct formula is:
It's worth noting that there are also hybrid approaches, for example, where you use automated verifiers (or a combination of automated verifiers and supervised labels) to train a process reward model that you then train your reasoning model against.
See also this related shortform in which I speculate about the relationship between o1 and AIXI:
Agency = Prediction + Decision.
AIXI is an idealized model of a superintelligent agent that combines "perfect" prediction (Solomonoff Induction) with "perfect" decision-making (sequential decision theory).
OpenAI's o1 is a real-world "reasoning model" that combines a superhuman predictor (an LLM like GPT-4) with advanced decision-making (implicit search via chain of thought trained by RL).
[Continued]
Agency = Prediction + Decision.
AIXI is an idealized model of a superintelligent agent that combines "perfect" prediction (Solomonoff Induction) with "perfect" decision-making (sequential decision theory).
OpenAI's o1 is a real-world "reasoning model" that combines a superhuman predictor (an LLM like GPT-4) with advanced decision-making (implicit search via chain of thought trained by RL).
To be clear: o1 is no AIXI. But AIXI, as an ideal, can teach us something about the future of o1-like systems.
AIXI teaches us that agency is simple. It involves just two raw ingredients: prediction and decision-making. And we know how to produce these ingredients. Good predictions come from self-supervised learning, an art we have begun to master over the last decade of scaling pretraining. Good decisions come from search, which has evolved from the explicit search algorithms that powered DeepBlue and AlphaGo to the implicit methods that drive AlphaZero and now o1.
So let's call "reasoning models" like o1 what they really are: the first true AI agents. It's not tool-use that makes an agent; it's how that agent reasons. Bandwidth comes second.
Simple does not mean cheap: pretraining is an industrial process that costs (hundreds of) billions of dollars. Simple also does not mean easy: decision-making is especially difficult to get right since amortizing search (=training a model to perform implicit search) requires RL, which is notoriously tricky.
Simple does mean scalable. The original scaling laws taught us how to exchange compute for better predictions. The new test-time scaling laws teach us how to exchange compute for better decisions. AIXI may still be a ways off, but we can see at least one open path that leads closer to that ideal.
The bitter lesson is that "general methods that leverage computation [such as search and learning] are ultimately the most effective, and by a large margin." The lesson from AIXI is that maybe these are all you need. The lesson from o1 is that maybe all that's left is just a bit more compute...
We still don't know the exact details of how o1 works. If you're interested in reading about hypotheses for what might be going on and further discussion of the implications for scaling and recursive self-improvement, see my recent post, "o1: A Technical Primer"
We're not currently hiring, but you can always send us a CV to be kept in the loop and notified of next rounds.
East wrong is least wrong. Nuke ‘em dead generals!
To be clear, I don't care about the particular courses, I care about the skills.
This has been fixed, thanks.
I'd like to point out that for neural networks, isolated critical points (whether minima, maxima, or saddle points) basically do not exist. Instead, it's valleys and ridges all the way down. So the word "basin" (which suggests the geometry is parabolic) is misleading.
Because critical points are non-isolated, there are more important kinds of "flatness" than having small second derivatives. Neural networks have degenerate loss landscapes: their Hessians have zero-valued eigenvalues, which means there are directions you can walk along that don't change the loss (or that change the loss by a cubic or higher power rather than a quadratic power). The dominant contribution to how volume scales in the loss landscape comes from the behavior of the loss in those degenerate directions. This is much more significant than the behavior of the quadratic directions. The amount of degeneracy is quantified by singular learning theory's local learning coefficient (LLC).
In the Bayesian setting, the relationship between geometric degeneracy and inductive biases is well understood through Watanabe's free energy formula. There's an inductive bias towards more degenerate parts of parameter space that's especially strong earlier in the learning process.
Anecdotally (I couldn't find confirmation after a few minutes of searching), I remember hearing a claim about Darwin being particularly ahead of the curve with sexual selection & mate choice. That without Darwin it might have taken decades for biologists to come to the same realizations.
If you'll allow linguistics, Pāṇini was two and a half thousand years ahead of modern descriptive linguists.
Right. SLT tells us how to operationalize and measure (via the LLC) basin volume in general for DL. It tells us about the relation between the LLC and meaningful inductive biases in the particular setting described in this post. I expect future SLT to give us meaningful predictions about inductive biases in DL in particular.
The post is live here.
If we actually had the precision and maturity of understanding to predict this "volume" question, we'd probably (but not definitely) be able to make fundamental contributions to DL generalization theory + inductive bias research.
Obligatory singular learning theory plug: SLT can and does make predictions about the "volume" question. There will be a post soon by @Daniel Murfet that provides a clear example of this.
You can find a v0 of an SLT/devinterp reading list here. Expect an updated reading list soon (which we will cross-post to LW).
Our work on the induction bump is now out. We find several additional "hidden" transitions, including one that splits the induction bump in two: a first part where previous-token heads start forming, and a second part where the rest of the induction circuit finishes forming.
The first substage is a type-B transition (loss changing only slightly, complexity decreasing). The second substage is a more typical type-A transition (loss decreasing, complexity increasing). We're still unclear about how to understand this type-B transition structurally. How is the model simplifying? E.g., is there some link between attention heads composing and the basin broadening?
As a historical note / broader context, the worry about model class over-expressivity has been there in the early days of Machine Learning. There was a mistrust of large blackbox models like random forest and SVM and their unusually low test or even cross-validation loss, citing ability of the models to fit noise. Breiman frank commentary back in 2001, "Statistical Modelling: The Two Cultures", touch on this among other worries about ML models. The success of ML has turn this worry into the generalisation puzzle. Zhang et. al. 2017 being a call to arms when DL greatly exacerbated the scale and urgency of this problem.
Yeah it surprises me that Zhang et al. (2018) has had the impact it did when, like you point out, the ideas have been around for so long. Deep learning theorists like Telgarsky point to it as a clear turning point.
Naive optimism: hopefully progress towards a strong resolution to the generalisation puzzle give us understanding enough to gain control on what kind of solutions are learned. And one day we can ask for more than generalisation, like "generalise and be safe".
This I can stand behind.
Thanks for raising that, it's a good point. I'd appreciate it if you also cross-posted this to the approximation post here.
I think this mostly has to do with the fact that learning theory grew up in/next to computer science where the focus is usually worst-case performance (esp. in algorithmic complexity theory). This naturally led to the mindset of uniform bounds. That and there's a bit of historical contingency: people started doing it this way, and early approaches have a habit of sticking.
This is probably true for neural networks in particular, but mathematically speaking, it completely depends on how you parameterise the functions. You can create a parameterisation in which this is not true.
Agreed. So maybe what I'm actually trying to get at it is a statement about what "universality" means in the context of neural networks. Just as the microscopic details of physical theories don't matter much to their macroscopic properties in the vicinity of critical points ("universality" in statistical physics), just as the microscopic details of random matrices don't seem to matter for their bulk and edge statistics ("universality" in random matrix theory), many of the particular choices of neural network architecture doesn't seem to matter for learned representations ("universality" in DL).
What physics and random matrix theory tell us is that a given system's universality class is determined by its symmetries. (This starts to get at why we SLT enthusiasts are so obsessed with neural network symmetries.) In the case of learning machines, those symmetries are fixed by the parameter-function map, so I totally agree that you need to understand the parameter-function map.
However, focusing on symmetries is already a pretty major restriction. If a universality statement like the above holds for neural networks, it would tell us that most of the details of the parameter-function map are irrelevant.
There's another important observation, which is that neural network symmetries leave geometric traces. Even if the RLCT on its own does not "solve" generalization, the SLT-inspired geometric perspective might still hold the answer: it should be possible to distinguish neural networks from the polynomial example you provided by understanding the geometry of the loss landscape. The ambitious statement here might be that all the relevant information you might care about (in terms of understanding universality) are already contained in the loss landscape.
If that's the case, my concern about focusing on the parameter-function map is that it would pose a distraction. It could miss the forest for the trees if you're trying to understand the structure that develops and phenomena like generalization. I expect the more fruitful perspective to remain anchored in geometry.
Is this not satisfied trivially due to the fact that the RLCT has a certain maximum and minimum value within each model class? (If we stick to the assumption that is compact, etc.)
Hmm, maybe restrict so it has to range over .
The easiest way to explain why this is the case will probably be to provide an example. Suppose we have a Bayesian learning machine with 15 parameters, whose parameter-function map is given by
and whose loss function is the KL divergence. This learning machine will learn 4-degree polynomials.
I'm not sure, but I think this example is pathological. One possible reason for this to be the case is that the symmetries in this model are entirely "generic" or "global." The more interesting kinds of symmetry are "nongeneric" or "local."
What I mean by "global" is that each point in the parameter space has the same set of symmetries (specifically, the product of a bunch of hyperboloids ). In neural networks there are additional symmetries that are only present for a subset of the weights. My favorite example of this is the decision boundary annihilation (see below).
For the sake of simplicity, consider a ReLU network learning a 1D function (which is just piecewise linear approximation). Consider what happens when you you rotate two adjacent pieces so they end up sitting on the same line, thereby "annihilating" the decision boundary between them, so this now-hidden decision boundary no longer contributes to your function. You can move this decision boundary along the composite linear piece without changing the learned function, but this only holds until you reach the next decision boundary over. I.e.: this symmetry is local. (Note that real-world networks actually seem to take advantage of this property.)
This is the more relevant and interesting kind of symmetry, and it's easier to see what this kind of symmetry has to do with functional simplicity: simpler functions have more local degeneracies. We expect this to be true much more generally — that algorithmic primitives like conditional statements, for loops, composition, etc. have clear geometric traces in the loss landscape.
So what we're really interested in is something more like the relative RLCT (to the model class's maximum RLCT). This is also the relevant quantity from a dynamical perspective: it's relative loss and complexity that dictate transitions, not absolute loss or complexity.
This gets at another point you raised:
2. It is a type error to describe a function as having low RLCT. A given function may have a high RLCT or a low RLCT, depending on the architecture of the learning machine.
You can make the same critique of Kolmogorov complexity. Kolmogorov complexity is defined relative to some base UTM. Fixing a UTM lets you set an arbitrary constant correction. What's really interesting is the relative Kolmogorov complexity.
In the case of NNs, the model class is akin to your UTM, and, as you show, you can engineer the model class (by setting generic symmetries) to achieve any constant correction to the model complexity. But those constant corrections are not the interesting bit. The interesting bit is the question of relative complexities. I expect that you can make a statement similar to the equivalence-up-to-a-constant of Kolmogorov complexity for RLCTs. Wild conjecture: given two model classes and and some true distribution , their RLCTs obey:
where is some monotonic function.
I think there's some chance of models executing treacherous turns in response to a particular input, and I'd rather not trigger those if the model hasn't been sufficiently sandboxed.
One would really want to know if the complexity measure can predict 'emergence' of capabilities like inner-monologue, particularly if you can spot previously-unknown capabilities emerging which may not be covered in any of your existing benchmarks.
That's our hope as well. Early ongoing work on toy transformers trained to perform linear regression seems to bear out that lambdahat can reveal transitions where the loss can't.
But this type of 'emergence' tends to happen with such expensive models that the available checkpoints are too separated to be informative (if you get an emergence going from 1b vs 10b vs 100b, what does it mean to compute a complexity measure there? You'd really want to compare them at wherever the emergence actually really happens, like 73.5b vs 74b, or whatever.)
The kind of emergence we're currently most interested in is emergence over training time, which makes studying these transitions much more tractable (the main cost you're paying is storage for checkpoints, and storage is cheap). It's still a hurdle in that we have to start training large models ourselves (or setting up collaborations with other labs).
But the induction bump happens at pretty small (ie. cheap) model sizes, so it could be replicated many times and in many ways within-training-run and across training-runs, and one see how the complexity metric reflects or predicts the induction bump. Is that one of the 'hidden' transitions you plan to test? And if not, why not?
The induction bump is one of the main things we're looking into now.
Oops yes this is a typo. Thanks for pointing it out.
Should be fixed now, thank you!
To be clear, our policy is not publish-by-default. Our current assessment is that the projects we're prioritizing do not pose a significant risk of capabilities externalities. We will continue to make these decisions on a per-project basis.
We don’t necessarily expect all dangerous capabilities to exhibit phase transitions. The ones that do are more dangerous because we can’t anticipate them, so this just seems like the most important place to start.
It's an open question to what extent the lottery-ticket style story of a subnetwork being continually upweighted contradicts (or supports) the phase transition perspective. Just because a subnetwork's strength is growing constantly doesn't mean its effect on the overall computation is. Rather than grokking, which is a very specific kind of phase transition, it's probably better to have in mind the emergence of in-context learning in tandem with induction heads, which seems to us more like the typical case we're interested in when we speak about structure in neural networks developing across training.
We expect there to be a deeper relation between degeneracy and structure. As an intuition pump, think of a code base where you have two modules communicating across some API. Often, you can change the interface between these two modules without changing the information content being passed between them and without changing their internal structure. Degeneracy — the ways in which you can change your interfaces — tells you something about the structure of these circuits, the boundaries between them, and maybe more. We'll have more to say about this in the future.
Now that the deadline has arrived, I wanted to share some general feedback for the applicants and some general impressions for everyone in the space about the job market:
- My number one recommendation for everyone is to work on more legible projects and outputs. A super low-hanging fruit for >50% of the applications would be to clean up your GitHub profiles or to create a personal site. Make it really clear to us which projects you're proud of, so we don't have to navigate through a bunch of old and out-of-use repos from classes you took years ago. We don't have much time to spend on every individual application, so you want to make it really easy for us to become interested in you. I realize most people don't even know how to create a GitHub profile page, so check out this guide.
- We got 70 responses and will send out 10 invitations for interviews.
- We rejected a reasonable number of decent candidates outright because they were looking for part-time work. If this is you, don't feel dissuaded.
- There were quite a few really bad applications (...as always): poor punctuation/capitalization, much too informal, not answering the questions, totally unrelated background, etc. Two suggestions: (1) If you're the kind of person who is trying to application-max, make sure you actually fill in the application. A shitty application is actually worse than no application, and I don't know why I have to say that. (2) If English is not your first language, run your answers through ChatGPT. GPT-3.5 is free. (Actually, this advice is for everyone).
- Between 5 and 10 people expressed interest in an internship option. We're going to think about this some more. If this includes you, and you didn't mention it in your application, please reach out.
- Quite a few people came from a data science / analytics background. Using ML techniques is actually pretty different from researching ML techniques, so for many of these people I'd recommend you work on some kind of project in interpretability or related areas to demonstrate that you're well-suited to this kind of research.
- Remember that job applications are always noisy. We almost certainly made mistakes, so don't feel discouraged!
Hey Thomas, I wrote about our reasoning for this in response to Winston:
All in all, we're expecting most of our hires to come from outside the US where the cost of living is substantially lower. If lower wages are a deal-breaker for anyone but you're still interested in this kind of work, please flag this in the form. The application should be low-effort enough that it's still worth applying.
Hey Winston, thanks for writing this out. This is something we talked a lot about internally. Here are a few thoughts:
Comparisons: At 35k a year, it seems it might be considerably lower than industry equivalent even when compared to other programs
I think the more relevant comparison is academia, not industry. In academia, $35k is (unfortunately) well within in the normal range for RAs and PhD students. This is especially true outside the US, where wages are easily 2x - 4x lower.
Often academics justify this on the grounds that you're receiving more than just monetary benefits: you're receiving mentorship and training. We think the same will be true for these positions.
The actual reason is that you have to be somewhat crazy to even want to go into research. We're looking for somewhat crazy.
If I were applying to this, I'd feel confused and slightly underappreciated if I had the right set of ML/Software Engineering skills but to be barely paid subsistence level for my full-time work (in NY).
If it helps, we're paying ourselves even less. As much as we'd like to pay the RAs (and ourselves) more, we have to work with what we have.
Of course... money is tight: The grant constraint is well acknowledged here. But potentially the number of RAs expected to hire can be further down adjusted as while potentially increasing the submission rate of the candidates that truly fits the requirement of the research program.
For exceptional talent, we're willing to pay higher wages.
The important thing is that both funding and open positions are exceptionally scarce. We expect there to be enough strong candidates who are willing to take the pay cut.
All in all, we're expecting most of our hires to come from outside the US where the cost of living is substantially lower. If lower wages are a deal-breaker for anyone but you're still interested in this kind of work, please flag this in the form. The application should be low-effort enough that it's still worth applying.
Yes (see footnote 1)! The main place where devinterp diverges from Naomi's proposal is the emphasis on phase transitions as described by SLT. During the first phase of the plan, simply studying how behaviors develop over different checkpoints is one of the main things we'll be doing to establish whether these transitions exist in the way we expect.
The No Free Lunch Theorem says "that any two optimization algorithms are equivalent when their performance is averaged across all possible problems."
So if the class of target functions (=the set of possible problems you would want to solve) is very large, then it's harder for a random model class (=set of solutions) to do much better than any other model class. You can't obtain strong guarantees for why you should expect good approximation.
If the target function class is smaller and your model class is big enough you might have better luck.
When people complain about LLMs doing nothing more than interpolation, they're mixing up two very different ideas: interpolation as intersecting every point in the training data, and interpolation as predicting behavior in-domain rather than out-of-domain.
With language, interpolation-as-intersecting isn't inherently good or bad—it's all about how you do it. Just compare polynomial interpolation to piecewise-linear interpolation (the thing that ReLUs do).
Neural networks (NNs) are biased towards fitting simple piecewise functions, which is (locally) the least biased way to interpolate. The simplest function that intersects two points is the straight line.
In reality, we don't even train LLMs long enough to hit that intersecting threshold. In this under-interpolated sweet spot, NNs seem to learn features from coarse to fine with increasing model size. E.g.: https://arxiv.org/abs/1903.03488
Bonus: this is what's happening with double descent: Test loss goes down, then up, until you reach the interpolation threshold. At this point there's only one interpolating solution, and it's a bad fit. But as you increase model capacity further, you end up with many interpolating solutions, some of which generalize better than others.
Meanwhile, with interpolation-not-extrapolation NNs can and do extrapolate outside the convex hull of training samples. Again, the bias towards simple linear extrapolations is locally the least biased option. There's no beating the polytopes.
Here I've presented the visuals in terms of regression, but the story is pretty similar for classification, where the function being fit is a classification boundary. In this case, there's extra pressure to maximize margins, which further encourages generalization
The next time you feel like dunking on interpolation, remember that you just don't have the imagination to deal with high-dimensional interpolation. Maybe keep it to yourself and go interpolate somewhere else.
Thank you. Pedantic is good (I fixed the root)!
You're right, thanks for pointing that out! I fixed the notation. Like you say, the difference of risks doesn't even qualify as a metric (the other choices mentioned do, however).
I agree with you that I haven't presented enough evidence! Which is why this is the first part in a six-part sequence.
There's more than enough math! (And only a bit of philosophy.)
Yes, I'm planning to adapt a more technical and diplomatic version of this sequence after the first pass.
To give the ML theorists credit, there is genuinely interesting new non-"classical" work going on (but then "classical" is doing a lot of the heavy lifting). Still, some of these old-style tendrils of classical learning theory are lingering around, and it's time to rip off the bandaid.
Thanks for pointing this out!
Thanks Lawrence! I had missed the slingshot mechanism paper, so this is great!
(As an aside, I also think grokking is not very interesting to study -- if you want a generalization phenomena to study, I'd just study a task without grokking, and where you can get immediately generalization or memorization depending on hyperparameters.)
I totally agree on there being much more interesting tasks than grokking with modulo arithmetic, but it seemed like an easy way to test the premise.
Also worth noting that grokking is pretty hyperparameter sensitive -- it's possible you just haven't found the right size/form of noise yet!
I will continue the exploration!
I think Omnigrok looked at enough tasks (MNIST, group composition, IMDb reviews, molecule polarizability) to suggest that the weight norm is an important ingredient and not just a special case / cherry-picking.
That said, I still think there's a good chance it isn't the whole story. I'd love to explore a task that generalizes at large weight norms, but it isn't obvious to me that you can straightforwardly construct such a task.
When you start to include broad basins (where a small perturbation changes your loss but only slightly), and other results like Mingard et al.'s and Valle Pérez et al.'s, I'm inclined to think this picture is more representative. But even in this picture, we can probably end up making statements about singularities in the blobby regions having disproportionate effect over all points within those regions.
Let me add some more views on SLT and capabilities/alignment.
(Dan Murfet’s personal views here) First some caveats: although we are optimistic SLT can be developed into theory of deep learning, it is not currently such a theory and it remains possible that there are fundamental obstacles. Putting those aside for a moment, it is plausible that phenomena like scaling laws and the related emergence of capabilities like in-context learning can be understood from first principles within a framework like SLT. This could contribute both to capabilities research and safety research.
Contribution to capabilities. Right now it is not understood why Transformers obey scaling laws, and how capabilities like in-context learning relate to scaling in the loss; improved theoretical understanding could increase scaling exponents or allow them to be engineered in smaller systems. For example, some empirical work already suggests that certain data distributions lead to in-context learning. It is possible that theoretical work could inspire new ideas. Thermodynamics wasn’t necessary to build steam engines, but it helped to push the technology to new levels of capability once the systems became too big and complex for tinkering.
Contribution to alignment. Broadly speaking it is hard to align what you do not understand. Either the aspects of intelligence relevant for alignment are universal, or they are not. If they are not, we have to get lucky (and stay lucky as the systems scale). If the relevant aspects are universal (in the sense that they arise for fundamental reasons in sufficiently intelligent systems across multiple different substrates) we can try to understand them and use them to control/align advanced systems (or at least be forewarned about their dangers) and be reasonably certain that the phenomena continue to behave as predicted across scales. This is one motivation behind the work on properties of optimal agents, such as Logical Inductors. SLT is a theory of universal aspects of learning machines, it could perhaps be developed in similar directions.
Does understanding scaling laws contribute to safety?. It depends on what is causing scaling laws. If, as we suspect, it is about phases and phase transitions then it is related to the nature of the structures that emerge during training which are responsible for these phase transitions (e.g. concepts). A theory of interpretability scalable enough to align advanced systems may need to develop a fundamental theory of abstractions, especially if these are related to the phenomena around scaling laws and emergent capabilities.
Our take on this has been partly spelled out in the Abstraction seminar. We’re trying to develop existing links in mathematical physics between renormalisation group flow and resolution of singularities, which applied in the context of SLT might give a fundamental understanding of how abstractions emerge in learning machines. One best case scenario of the application of SLT to alignment is that this line of research gives a theoretical framework in which to understand more empirical interpretability work.
The utility of theory in general and SLT in particular depends on your mental model of the problem landscape between here and AGI. To return to the thermodynamics analogy: a working theory of thermodynamics isn’t necessary to build train engines, but it’s probably necessary to build rockets. If you think the engineering-driven approach that has driven deep learning so far will plateau before AGI, probably theory research is bad in expected value. If you think theory isn’t necessary to get to AGI, then it may be a risk that we have to take.
Summary: In my view we seem to know enough to get to AGI. We do not know enough to get to alignment. Ergo we have to take some risks.
First of all, I really like the images, they made things easier to understand and are pretty. Good work with that!
Thank you!
My biggest problem with this is the unclear applicability of this to alignment. Why do we want to predict scaling laws? Doesn't that mostly promote AI capabilities, and not alignment very much?
This is also my biggest source of uncertainty on the whole agenda. There's definitely a capabilities risk, but I think the benefits to understanding NNs currently much outweigh the benefits to improving them.
In particular, I think that understanding generalization is pretty key to making sense of outer and inner alignment. If "singularities = generalization" holds up, then our task seems to become quite a lot easier: we only have to understand a few isolated points of the loss landscape instead of the full exponential hell that is a billions-dimensional system.
In a similar vein, I think that this is one of the most promising paths to understanding what's going on during training. When we talk about phase changes / sharp left turns / etc., what we may really be talking about are discrete changes in the local singularity structure of the loss landscape. Understanding singularities seems key to predicting and anticipating these changes just as understanding critical points is key to predicting and anticipating phase transitions in physical systems.
- We care about the generalization error with respect to some prior , but the latter doesn't have any effect on the dynamics of SGD or on what the singularity is
- The Watanabe limit ( as ) and the restricted free energy all are presented on results, which rely on the singularities, and somehow predict generalization. But all of these depend on the prior , and earlier we've defined the singularities to be of the likelihood function; plus SGD actually only uses the likelihood function for its dynamics.
As long as your prior has non-zero support on the singularities, the results hold up (because we're taking this large-N limit where the prior becomes less important). Like I mention in the objections, linking this to SGD is going to require more work. To first order, when your prior has support over only a compact subset of weight space, your behavior is dominated by the singularities in that set (this is another way to view the comments on phase transitions).
It's also unclear what the takeaway from this post is. How can we predict generalization or dynamics from these things? Are there any empirical results on this?
This is very much a work in progress.
In statistical physics, much of our analysis is built on the assumption that we can replace temporal averages with phase-space averages. This is justified on grounds of the ergodic hypothesis. In singular learning theory, we've jumped to parameter (phase)-space averages without doing the important translation work from training (temporal) averages. SGD is not ergodic, so this will require care. That the exact asymptotic forms may look different in the case of SGD seems probable. That the asymptotic forms for SGD make no reference to singularities seems unlikely. The basic takeaway is that singularities matter disproportionately, and if we're going to try to develop a theory of DNNs, they will likely form an important component.
For (early) empirical results, I'd check out the theses mentioned here.
is not a KL divergence, the terms of the sum should be multiplied by or .
is an empirical KL divergence. It's multiplied by the empirical distribution, , which just puts probability on the observed samples (and 0 elsewhere),
the Hamiltonian is a random process given by the log likelihood ratio function
Also given by the prior, if we go by the equation just above that. Also where does "ratio" come from?
Yes, also the prior, thanks for the correction.The ratio comes from doing the normalization ("log likelihood ratio" is just another one of Watanabe's name for the empirical KL divergence). In the following definition,
the likelihood ratio is
But that just gives us the KL divergence.
I'm not sure where you get this. Is it from the fact that predicting p(x | w) = q(x) is optimal, because the actual probability of a data point is q(x) ? If not it'd be nice to specify.
the minima of the term in the exponent, K (w) , are equal to 0.
This is only true for the global minima, but for the dynamics of learning we also care about local minima (that may be higher than 0). Are we implicitly assuming that most local minima are also global? Is this true of actual NNs?
This is the comment in footnote 3. Like you say, it relies on the assumption of realizability (there being a global minimum of ) which is not very realistic! As I point out in the objections, we can sometimes fix this, but not always (yet).
the asymptotic form of the free energy as
This is only true when the weights are close to the singularity right?
That's the crazy thing. You do the integral over all the weights to get the model evidence, and it's totally dominated by just these few weights. Again, when we're making the change to SGD, this probably changes.
Also what is , seems like it's the RLCT but this isn't stated.
Yes, I've made an edit. Thanks!
Yep, regularization tends to break these symmetries.
I think the best way to think of this is that it causes the valleys to become curved — i.e., regularization helps the neural network navigate the loss landscape. In its absence, moving across these valleys depends on the stochasticity of SGD which grows very slowly with the square root of time.
That said, regularization is only a convex change to the landscape that doesn't change the important geometrical features. In its presence, we should still expect the singularities of the corresponding regularization-free landscape to have a major macroscopic effect.
There are also continuous zero-loss deformations in the loss landscape that are not affected by regularization because they aren't a feature of the architecture but of the "truth". (See the thread with tgb for a discussion of this, where we call these "Type B".)
This is a toy example (I didn't come up with it for any particular in mind.
I think the important thing is that the distinction does not have much of a difference in practice. Both correspond to lower-effective dimensionality (type A very explicitly, and type B less directly). Both are able to "trap" random motion. And it seems like both somehow help make the loss landscape more navigable.
If you're interested in interpreting the energy landscape as a loss landscape, and would be the parameters (and and would be hyperparameters related to things like the learning rate and batch size.